International Securities Consulting Group LLC Expands Service Choices
Specializing in SEC Rule 15a-6 BD Services, Outsource Supervisory / Principal Staffing, Outsourced C-Suite Staffing
Global Securities Consulting Group (GSCG) LLC – a certified minority business enterprise (MBE) and leading broker-dealer and investment advisor consulting firm is pleased to announce it has expanded its service offerings to the financial community. GSCG delivers operational, compliance, and financial consulting services to BDs and IAs across the country. Furthermore, GSCG can serve as a trusted advisor to your C-suite management team and Board of Directors; or assist staff with dynamic risk assessments and project remediation. GSCG provides outsourced, cost-effective, and remote expertise to institutional financial market participants worldwide.
SEC 15a-6 chaperone services for foreign broker-dealers and foreign financial entities permit those organizations to conduct solicited business activities with U.S. based major institutional investors under safe harbor exemption from SEC/FINRA registration. Those foreign firms wishing to avail themselves of the exemption must partner with a U.S. Finra member firm approved for 15a-6 business. GSCG helps both the U.S. and Foreign BD firms navigate and adhere to the strict guidelines and conditions that govern permissible behavior under the chaperone guidelines. This allows all parties to develop deeper and more sustainable commercial relationships and avoid costly regulatory missteps. GSCG helps foreign-broker dealers looking to partner with an approved US chaperone BD.
Global Securities Consulting Group also offers outsource supervisory & principal-level staffing solutions to U.S. member firms. Its services are backed by a tailored approach and designed with the client’s unique considerations in mind. GSCG can operate on an interim or more intermediate to permanent basis depending on your company’s needs and circumstances. Our cost-effective services help financial organizations focus on their core attributes or market offering; allows for staffing flexibility; and ensures smooth operating transitions without any adverse impact to customer business or relationships. GSCG BD customers typically employ 10 to 50 registered reps. and conduct business along an entire spectrum of permitted membership activities. Our IA clients have diverse mandates and manage up to USD $2 billion in AUM on both a discretionary and nondiscretionary basis. Whether you are a startup BD or IA, established private fund, single-owner LLC, a limited partnership, a family office, or multi-national affiliate; GSCG can harmonize processes; map and implement sustainable efficiencies; and reduce operational & regulatory risks, while maximizing net income.
To learn more visit https://globalsecuritiesconsulting.com/
About Global Securities Consulting Group LLC
Global Securities Consulting Group LLC is a minority-owned, MBE certified consultancy firm operating from its offices in Westport, New York, and Miami in the United States. The firm offers strategic financial and value-added consulting services to financial organizations, sell-side, and buy-side institutional firms. GSCG also offers SEC Rule 15a-6 chaperone services; outsourced BD/IA compliance and operational expertise; and remote supervisory/principal staffing to financial markets participants worldwide. The managing principal of GSCG has +25 years of experience in the financial industry, including having served in various sales, analytical, and trading roles across Equities, Fixed Income and Corporate Finance.
Global Securities Consulting Group Phone: +1 646 348 0896
Email: [email protected]